0001072613-19-000060.txt : 20190212 0001072613-19-000060.hdr.sgml : 20190212 20190212063614 ACCESSION NUMBER: 0001072613-19-000060 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20190212 DATE AS OF CHANGE: 20190212 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: VICOR CORP CENTRAL INDEX KEY: 0000751978 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC COMPONENTS, NEC [3679] IRS NUMBER: 042742817 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-43949 FILM NUMBER: 19587553 BUSINESS ADDRESS: STREET 1: 25 FRONTAGE ROAD CITY: ANDOVER STATE: MA ZIP: 01810 BUSINESS PHONE: (978) 470-2900 MAIL ADDRESS: STREET 1: 25 FRONTAGE RD CITY: ANDOVER STATE: MA ZIP: 01810 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ASHFORD CAPITAL MANAGEMENT INC CENTRAL INDEX KEY: 0000897070 IRS NUMBER: 510243208 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 1 WALKER'S MILL ROAD CITY: WILMINGTON STATE: DE ZIP: 19807 BUSINESS PHONE: 3026551750 MAIL ADDRESS: STREET 1: 1 WALKER'S MILL ROAD CITY: WILMINGTON STATE: DE ZIP: 19807 SC 13G/A 1 ashford-vicor13ga4_18281.htm VICOR CORPORATION - SCHEDULE 13G/A - AMENDMENT NO. 4

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
 
SCHEDULE 13G/A
 
 
Under the Securities Exchange Act of 1934
 (Amendment No. 4)*
 
 

Vicor Corporation
(Name of Issuer)


  Common Stock, $0.01 Par Value Per Share  
(Title of Class of Securities)


         925815102         
(CUSIP Number)
 
 
                        December 31, 2018                        
(Date of Event Which Requires Filing of this Statement)


 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
 
☒ Rule 13d-1(b)
 
☐ Rule 13d-1(c)
 
☐ Rule 13d-1(d)
 

 
* The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
 
The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
 
 
 
CUSIP No. 925815102
  13G/A Page 2 of 5 Pages 
 
1
NAME OF REPORTING PERSON:
 
 
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
 
 
Ashford Capital Management, Inc.
 
 
 
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
    
(a)☐
    
(b)☐
 
 
3
SEC USE ONLY
 
 
 
 
 
 
 
4
CITIZENSHIP OR PLACE OF ORGANIZATION
 
 
Delaware
 
 
 
 
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
5
SOLE VOTING POWER
 
 
743,800 shares
 
 
 
 
6
SHARED VOTING POWER
 
 
0 shares
 
 
 
 
7
SOLE DISPOSITIVE POWER
 
 
743,800 shares
 
 
 
 
8
SHARED DISPOSITIVE POWER
 
 
0 shares
 
 
 
 
9
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
 
743,800 shares
 
 
 
 
10
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
 
 
☐
 
 
 
 
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
 
 
2.62%
 
 
 
 
12
TYPE OF REPORTING PERSON
 
 
IA
 
 
 
 
 
 
 
CUSIP No. 925815102
  13G/A Page 3 of 5 Pages 
 
 
 
Item 1.
 
(a) Name of Issuer:
 
Vicor Corporation
 
(b)           Address of Issuer's Principal Executive Offices:
 
25 Frontage Road, Andover, MA 01810

 
Item 2.
 
(a)           Name of Person Filing:
 
Ashford Capital Management, Inc.
 
(b)          Address of Principal Business Office or, if none, Residence:
 
One Walker's Mill Road, Wilmington, DE 19807
 
(c) Citizenship:  A Delaware Corporation
 
(d) Title of Class of Securities:           Common Stock, $0.01 Par Value Per Share
 
(e)           CUSIP Number:                              925815102

 
Item 3.
 If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
 
  (a) ☐ Broker or dealer registered under section 15 of the Act
  (b) ☐ Bank as defined in section 3(a)(6) of the Act
  (c) ☐ Insurance company as defined in section 3(a)(19) of the Act
(d) ☐ Investment company registered under section 8 of the Investment Company Act of 1940
(e) ☒ An investment adviser in accordance with §240.13d-1(b)(1(ii)(E)
(f) ☐ An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F)
(g) ☐ A parent holding company or control person  in accordance with §240.13d-1(b)(1)(ii)(G)
(h) ☐
A savings association as defined in section 3(b) of the Federal Deposit Insurance Act
(i) ☐ A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940
(j) ☐ Group, in accordance with §240.13d-1(b)-1(ii)(J)

 
 
 
CUSIP No. 925815102
  13G/A Page 4 of 5 Pages 
 
 
Item 4.
Ownership
 
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
 
(a)           Amount Beneficially Owned:                           743,800 shares
 
(b)           Percent of Class:                                                2.62%
 
The foregoing percentage is calculated based on 28,408,092 shares of Common Stock reported to be outstanding as of October 19, 2018 in the Issuer's September 30, 2018 Quarterly Report filed on Form 10-Q.

(c)           Number of shares as to which such person has:
 
(i)  Sole power to vote or to direct the vote:                                 743,800 shares
 
(ii)  Shared power to vote or to direct the vote:                            0 shares
 
(iii)  Sole power to dispose or to direct the disposition of:         743,800 shares
 
(iv)  Shared power to dispose or to direct the disposition of:     0 shares

 
Item 5.
Ownership of Five Percent or Less of a Class
 
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following ☒.       

 
Item 6.
Ownership of More than Five Percent on Behalf of Another Person

N/A
 
 
Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company

N/A

 
Item 8.
Identification and Classification of Members of the Group

N/A

 
Item 9.
Notice of Dissolution of Group

N/A

 
Item 10.
Certification

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
 
 

CUSIP No. 925815102
  13G/A Page 5 of 5 Pages 
 
 
SIGNATURE

After reasonable inquiry and to the best of its knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Date:       February 12, 2019

 
 
ASHFORD CAPITAL MANAGEMENT, INC.


By:       /s/ Anthony M. Petrucci                                          
Anthony M. Petrucci
Chief Financial Officer and Chief Compliance Officer